Latest Compliance Officer Broker Dealer jobs - JobisJob United States Mobile

13 Compliance Officer Broker Dealer Jobs

Chief Compliance Officer, Broker-Dealer Simmons & Hanbury - , NY, United States Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Primary Accountabilities 4 days ago
Senior Compliance Officer (Control Room Chardan - New York, NY, United States of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm. · Highly organized self-starter with excellent judgment and strong attention to detail Broad 6 days ago
In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer 5 days ago
Senior AFC & Compliance Officer DWS Group - New York, NY, United States as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. • Fluent in all FINRA and SEC issues and concerns. • Demonstrated expertise with financial services regulatory schemes 8 days ago
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Chief Compliance Officer Lime Trading - New York, NY, United States Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading 11 days ago
Compliance Officer Allspring Global Investments - Menomonee Falls, WI / Boston, MA / Charlotte, NC with the streamlining of the marketing review process. RESPONSIBILITIES Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications 3 days ago
DBE Compliance Manager Skanska USA - Seattle, Washington Officer (UDCO) or Project Manager, as determined. The DBE Compliance Manager will ensure program compliance through a review of the DBE subcontractors, suppliers (regular dealers), manufacturers, truckers 12 days ago
In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer and alternative trading systems 8 days ago
In House Counsel Jobs | JDHuntr 37764 Chief Compliance Officer (remote), Portland, OR In House Jobs | JDHuntr - Portland, OR In House Counsel Jobs | JDHuntr 37764 Chief Compliance Officer (remote), Portland, OR\ To apply go to JDHuntr.com \ Lead the companys broker-dealer Compliance team and program. Develop and implement 10 days ago
SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance Bloomberg - New York, United States Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team Competitive 13 days ago

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